Cameron W. Grizzle
Professional summary
Cameron Wade Grizzle was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Cameron is a previously registered financial advisor and started their career in finance in 1994. Prior to being barred, Cameron had worked at 4 firms, which includes B. RILEY WEALTH MANAGEMENT, RIVERSTONE WEALTH MANAGEMENT INC., MORGAN KEEGAN & COMPANY LLC, MORGAN STANLEY DW INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2008 - March 30, 2010
B. RILEY WEALTH MANAGEMENT
August 22, 2008 - March 30, 2010
B. RILEY WEALTH MANAGEMENT
September 15, 2004 - September 18, 2008
RIVERSTONE WEALTH MANAGEMENT, INC.
September 15, 2004 - September 18, 2008
RIVERSTONE WEALTH MANAGEMENT, INC.
June 5, 2002 - September 14, 2004
MORGAN KEEGAN & COMPANY, LLC
June 4, 2002 - September 14, 2004
MORGAN KEEGAN & COMPANY, LLC
July 19, 1994 - January 10, 2002
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 10/8/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
B. RILEY WEALTH MANAGEMENT
CRD#: 2543 / SEC#: 801-67275, 8-31206
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| B. RILEY WEALTH MANAGEMENT HOLDINGS, INC. | DIRECT OWNER | |
| BONNEMA, STEPHEN JOSEPH | CHIEF ADMINISTRATIVE OFFICER | 2229865 |
| MULLEN, MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER | 1428116 |
| ORTEGA, DANIEL | CHIEF COMPLIANCE OFFICER | 3095215 |
| SWAIN, MARY ANN NELL | CHIEF FINANCIAL OFFICER | 6484916 |
| ZANONE, PHILIP RICHARD JR | CHIEF OPERATING OFFICER | 2135221 |
Regulatory assets under management
| Total Number of Accounts | 9,621 |
| AUM (Assets Under Management) | $ 4,118,839,755 |
Disclosures
| Regulatory Event | 18 |
| Arbitration | 4 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/28/2022 |
Red Flags
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